John P. Mcgowan
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
John Patrick Mcgowan, who also goes by John P Mcgowan, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1970. John had worked at 8 firms and has passed the Series 1, Series 24, Series 54FN and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 29, 2009 - July 5, 2012
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
May 3, 1985 - July 9, 2013
USTOCKTRADE SECURITIES, INC.
June 5, 1981 - May 31, 1985
J. H. WAGNER & CO. INC.
August 2, 1976 - March 12, 1987
TD WEALTH MANAGEMENT SERVICES INC.
June 10, 1974 - December 28, 1975
ALEX. BROWN & SONS INCORPORATED
September 10, 1973 - June 21, 1974
SCHMIDT, ROBERTS & PARKE, INC.
March 30, 1972 - September 10, 1973
NEW YORK HANSEATIC CORPORATION
January 2, 1970 - March 16, 1972
DEHAVEN & TOWNSEND, CROUTER & BODINE INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 12/8/1969
Registered Representative ExaminationSeries 54FN
Date: 9/17/1983
Municipal Securities Financial and Operations Principal ExaminationCurrent Firm
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
CRD#: 6950 / SEC#: 801-68820, 8-18971
Contact information
FINRA licenses (49 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SOUTHSTATE BANK, NATIONAL ASSOCIATION | OWNER | |
| BONONNO, JOSEPH KEMP | CHIEF FINANCIAL OFFICER | 7437632 |
| CHERRY, JAMES CROWELL | CHIEF COMPLIANCE OFFICER | 2870353 |
| HODGES, STUART LEE | SVP, PRESIDENT | 7370566 |
| HOWARD, HEATHER DIANE | CORPORATE SECRETARY/COMPLIANCE OFFICER | 4349745 |
| TUCKER, KIMBERLY SHAY | OPERATIONS MANAGER - PRINCIPAL OPERATIONS OFFICER | 7370391 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
